SEC bars Thorn Welch firm, ex-employees from business
- SEC Sues Former Muni Banker for Unpaid Securities Fraud Settlement. Hume, Lynn // Bond Buyer;05/03/2000, Vol. 332 Issue 30883, p6
Focuses on the United States Securities Exchange Commission's lawsuit against Eugene J. Yelverton Jr., a former investment banker of the now-defunct Thorn Welch & Co. Aim of SEC to force Yelverton to follow through with his agreement to settle securities fraud charges; Amount Yelverton owed the...
- Bankers, Counsel Plead Guilty in Mississippi Fraud Trial. Hume, Lynn // Bond Buyer;02/12/2001, Vol. 335 Issue 31075, p4
Reports that former investment bankers John E. Thorn Jr. and Eugene J. Yelverton Jr. have pleaded guilty to one felony count each in their involvement with 74 fraudulent municipal note issues. Details of the case.
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.
- SEC slates small business meeting. // Las Vegas Business Press;05/18/98, Vol. 15 Issue 20, p27
Reports that the US Securities and Exchange Commission will hold a small business town hall meeting on May 28, 1998, at the Moyer Student Union Ballroom at the Las Vegas, Nevada-based University of Nevada. Contact information.
- Clearing firms work with SEC to stop fraud. Horowitz, Jed // Investment Dealers' Digest;02/02/98, Vol. 64 Issue 5, p4
Presents information pertaining to the United States Securities and Exchange Commission working with clearing firms, to help detect fraudulent practices. Details on what they plan to do; Mention of rule changes; Proposition of more cooperation between the different entities; Information on...